Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| William Howell Rice | 5335577 | 6 | 04/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse Eugene Lehman | 7221014 | 2 | 04/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristina Miller | 6339027 | 1 | 04/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marilyn S Hoosen | 4639441 | 2 | 04/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy M Simon | 2565506 | 2 | 04/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy M Simon | 2565506 | 2 | 04/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Herlin Reyes Ramos | 7543665 | 1 | 04/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Seabron McKnight | 6988000 | 1 | 03/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Alan Boggan | 2414174 | 5 | 03/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francisco Jose Reyes | 7653608 | 1 | 03/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |